Gustavo Santos Miramontes, of Los Angeles, California, a stockbroker registered with Oppenheimer Co. Inc., was the subject of a customer initiated investment related complaint that was settled on October 14, 2022, for $7,957.00 in damages based upon allegations that Miramontes engaged in unauthorized and unsuitable trading in stocks and mutual funds when Miramontes was associated with Oppenheimer Co. Inc.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Miramontes was referenced in nine other customer initiated investment related disputes concerning Miramontes’ conduct while associated with securities broker dealers, including Oppenheimer Co. Inc. On October 14, 2022, a customer initiated investment related complaint involving Miramontes’ conduct was settled to resolve allegations that Miramontes made unsuitable recommendations and engaged in unauthorized trading in mutual funds and stocks during the time that Miramontes was associated with Oppenheimer Co. Inc.
Another customer initiated investment related complaint involving Miramontes’ conduct was settled to resolve allegations that Miramontes engaged in unauthorized trading and made unsuitable recommendations of stocks. Miramontes was also referenced in a customer initiated investment related complaint that was settled on October 14, 2022, for $7,558.00 in damages based upon allegations that Miramontes engaged in unsuitable and unauthorized trading in stocks and mutual funds.
A different customer initiated investment related complaint involving Miramontes’ conduct was settled for $7,981.00 in damages based upon allegations that Miramontes made unsuitable recommendations and engaged in unauthorized trading in mutual funds and stocks.
Miramontes has been associated with Oppenheimer Co. Inc. as a stockbroker since August 13, 2018.
